- Commodities, Futures & Derivatives
- Regulatory Enforcement Defense
- Securities & Complex Commercial Litigation
- Broker-Dealer Advisory & Counseling
- FinTech & Blockchain
- J.D., University of Richmond School of Law, 1996
- B.A., College of William and Mary, 1993
- New York
- U.S. Supreme Court
Harris Kay is the Office Managing Partner of the firm's Chicago office. He represents financial services firms and individuals in a wide range of registration, compliance, regulatory and litigation matters.
Mr. Kay has represented financial services industry clients for over twenty years. Throughout that time, he has assisted members of the securities and derivatives industries in navigating the complex statutory and regulatory framework in which these businesses operate.
In connection with his commodities, futures and derivatives practice, he assists derivatives exchanges, futures commissions merchants, introducing brokers, commodity pool operators and commodity trading advisors in a variety of registration, regulatory and compliance matters. Harris’s proprietary trading firm clients rely upon him for advice and counsel regarding regulatory and exchange rule compliance and myriad other day-to-day formation and operational issues. And, when necessary, Harris represents futures and derivatives industry clients in regulatory inquiries, investigations and enforcement proceedings before the CFTC, NFA and various exchanges.
Mr. Kay’s securities practice focuses upon representing broker-dealers, investment advisers, trading firms and fund clients in connection with regulatory and compliance matters. He provides advice regarding numerous business and trading-related issues. He has handled numerous complex regulatory investigations and enforcement matters regarding, among other matters, issuance of securities, fund and issuer disclosure matters, broker-dealer sales practices, registration issues, and other matters, before SEC, FINRA and exchanges.
He regularly defends participants in the securities and futures industries in federal and state court litigation and in CFTC reparations proceedings, as well as in arbitration before FINRA and NFA.
His experience includes serving as a partner in the financial services practice group in the Chicago office of a large international law firm.
For over ten years, Mr. Kay has served on the board of directors of a Chicago-based manufacturing company, which provides him with a unique perspective on the corporate governance, operational and strategic issues facing businesses and their leadership teams.
Mr. Kay previously served as an adjunct professor at the University of Richmond, lecturing on numerous financial services industry-related topics. He has published two law review articles, and has written on numerous litigation and regulatory issues related to the industry. He is a regular participant and moderator on panel discussions at various industry events.
- Chicago – Lincoln American Inn of Court
- Member and past meeting chair and pupilage program chair
- Chicago Bar Association
- Financial Investment Services Committee, member and past chair